Openwave Systems IPO v. Openwave Systems
Federal Civil Lawsuit New York Southern District Court, Case No. 1:01-cv-09744
District Judge Shira A. Scheindlin, presiding

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No Logo James Tran, Plaintiff

Toggle Switch Represented by Bernstein Liebhard LLP

Name Phone Fax E-Mail
TERMINATED: 04/19/2002, LEAD ATTORNEY, LEAD ATTORNEY Stanley D Bernstein , +1 212 779 1414 +7793 779 779 3218 bernstein@bernlieb.com

Toggle Switch Represented by Milberg LLP

Name Phone Fax E-Mail
LEAD ATTORNEY Melvyn I Weiss +1 212 594 5300 +1 212 868 1229 mweiss@milbergweiss.com
No Logo Pond Equities, Plaintiff

Toggle Switch Represented by Bernstein Liebhard LLP

Name Phone Fax E-Mail
TERMINATED: 04/19/2002, LEAD ATTORNEY, LEAD ATTORNEY Stanley D Bernstein , +1 212 779 1414 +7793 779 779 3218 bernstein@bernlieb.com
TERMINATED: 04/19/2002, LEAD ATTORNEY Sandy A Liebhard +1 212 779 1414 +1 212 779 3218 liebhard@bernlieb.com
TERMINATED: 04/19/2002, LEAD ATTORNEY Menachem E. Lifshitz +1 212 779 1414 lifshitz@bernlieb.com

Toggle Switch Represented by Meiselman, Packman, Nealon, Scialabba & Baker, PC

Name Phone Fax E-Mail
TERMINATED: 04/19/2002, LEAD ATTORNEY ROBERT J. BERG +1 914 920 7400 +1 914 761 1900 rberg@denleacarton.com
v.
No Logo Alain Rossman, Defendant
No Logo Alan Black, Defendant
No Logo Andrew Laursen, Defendant
No Logo Banc Of America Securities LLC, Defendant

Toggle Switch Represented by O'Melveny & Myers LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, LEAD ATTORNEY Brendan Joseph Dowd +1 212 326 2000 +1 212 326 2061 bdowd@omm.com
LEAD ATTORNEY, LEAD ATTORNEY Andrew Jay Frackman +1 212 326 2000 +1 212 326 2061 afrackman@omm.com
LEAD ATTORNEY Jeehae Jennifer Koh +1 212 326 2194 +1 212 326 2061 jkoh@omm.com
LEAD ATTORNEY Matthew Joseph Merrick +1 212 326 4450 +1 212 326 2061 mmerrick@omm.com

Toggle Switch Represented by Weil Gotshal & Manges LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, TERMINATED: 04/19/2005 Jonathan D. Polkes +1 212 504 6021 +1 212 504 6666 jonathan.polkes@weil.com
No Logo Bancboston Robertson Stephens Inc., Defendant
No Logo Charles Parrish, Defendant
Credit Suisse First Boston Corporation Credit Suisse First Boston Corporation, Defendant
No Logo Goldman Sachs & Co., Defendant

Toggle Switch Represented by Sullivan & Cromwell LLP

Name Phone Fax E-Mail
LEAD ATTORNEY Penny Shane +1 212 558 4000 +1 212 558 3588 shanep@sullcrom.com
No Logo Hambrecht & Quist, LLC, Defendant
No Logo J.P. Morgan Sec., Defendant

Toggle Switch Represented by Simpson Thacher & Bartlett LLP

Name Phone Fax E-Mail
LEAD ATTORNEY Joseph M. McLaughlin +1 212 455 2000 jmclaughlin@stblaw.com
No Logo Malcolm Bird, Defendant
No Logo Openwave Systems, Inc., Defendant
No Logo Phone.com, Defendant
No Logo Robertson Stephens, Inc., Defendant

Toggle Switch Represented by O'Melveny & Myers LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, LEAD ATTORNEY Brendan Joseph Dowd +1 212 326 2000 +1 212 326 2061 bdowd@omm.com
LEAD ATTORNEY, LEAD ATTORNEY Andrew Jay Frackman +1 212 326 2000 +1 212 326 2061 afrackman@omm.com
U.S. Bancorp Piper Jaffray, Inc. U.S. Bancorp Piper Jaffray, Inc., Defendant

Toggle Switch Represented by Foley & Lardner, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY Dean M. Jeske +1 312 832 4500 +1 312 832 4700 djeske@foley.com
No Logo Paul Cyrek, Intervenor Plaintiff
Citation Section 15 U.S.C. § 78m(a)
Nature of Suit 850 - Other Statutes: Securities/Commodities/Exchange
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Legal Document (Payment Possibly Required) 29 Filed: 12/30/2009, Entered: None Unknown Document TypeCourt Filing
ORDER AND FINAL JUDGMENT settling action as to 01 Civ. 9744. (Signed by Judge Shira A. Scheindlin on 11/24/09) (Attachments: # 1 notice of right to appeal)(ml) (Entered: 12/30/2009)
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    Legal Document (Payment Possibly Required) 29 Filed: 12/30/2009, Entered: None Unknown Document TypeCourt Filing
    ORDER AND FINAL JUDGMENT settling action as to 01 Civ. 9744. (Signed by Judge Shira A. Scheindlin on 11/24/09) (Attachments: # 1 notice of right to appeal)(ml) (Entered: 12/30/2009)
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      Legal Document (Payment Possibly Required)  Filed: 6/28/2007, Entered: None Unknown Document Type
      STIPULATION AND ORDER that the Stipulation and Agreement of Settlement with defendant Issuers and Individuals submitted to the Court on 6/10/4, is hereby terminated purs to Paragraph 39 of the Proposed Partial Settlement. However, purs to paragraph 40 of the Proposed Partial Settlement, that paragraph, and the paragraphs referred to therein, shall survive the termination of the Proposed Partial Settlement. This Stipulation resolves (5527) Motion to Approve of Class action settlement. The Clerk of Court is directed to close this motion. This document relates to: All cases listed on Schedule I. (orig fld in 21mc92, #5620). (Signed by Judge Shira A. Scheindlin on 6/25/07) (cd)
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      Legal Document (Payment Possibly Required)  Filed: 9/30/2004, Entered: None Unknown Document Type
      NOTICE OF WITHDRAWAL OF OMNIBUS MOTION FOR INTERVENTION; the Class members listed on Exhibit 1 to this Notice hereby withdraw, without prejudice to renewal, their Omnibus Motion for Intervention (Doc. No. 5191 on Dkt. 21 MC 92) that was filed on 9/2/03. This Document Relates to: 01cv5902; 01cv2359; 01cv10901; 01cv3360; 01cv6890; 01cv5446; 01cv2858; 01cv10827; 01cv9883; 01cv6397; 01cv6613; 01cv6271; 01cv10839; 01cv5937; 01cv6222; 01cv7669; 01cv10971; 01cv5575; 01cv7044; 01cv10943; 01cv10686; 01cv10105; 01cv5834; 01cv6542; 01cv7000; 01cv10944; 01cv3792; 01cv4942; 01cv11231; 01cv6887; 01cv5948; 01cv6242; 01cv7467; 01cv9411; 01cv9414; 01cv6775; 01cv5911; 01cv11246; 01cv7055; 01cv6948; 01cv10164; 01cv10813; 01cv7048; 01cv10738; 01cv10640; 01cv10884; 01cv10741; 01cv6339; 01cv6771; 01cv9743; 01cv6272; 01cv6842; 01cv6277; 01cv9922; 01cv10969; 01cv6084; 01cv3975; 01cv7654; 01cv9917; 01cv9349; 01cv7974; 01cv9417; 01cv10740; 01;cv9442; 01cv4147; 01cv6661; 01cv3483; 01cv6757; 01cv10990; 01cv6627; 01cv7726; 01cv9651; 01cv4183; 01cv3910; 01cv7028; 01cv5332; 01cv9798; 01cv11239; 01cv6089; 01cv6004; 01cv10823; 01cv10945; 01cv7280; 01cv10775; 01cv5354; 01cv7032; 01cv9744; 01cv9904; 01cv11217; 01cv10185; 01cv7279; 01cv2261; 01cv6082; 01cv10867; 01cv10160; 01cv10898; 01cv10683; 01cv2712; 01cv6090; 01cv10942; 01cv10120; 01cv11245; 01cv5225; 01cv6950; 01cv9746; 01cv7415; 01cv4941; 01cv10831; 01cv5600; 01cv10941; 01cv9921; 01cv4186; 01cv6846; 01cv6821; 01cv7474; 01cv5267; 01cv6288; 01cv7247; 01cv6110; 01cv10822; 01cv6008; 01cv5269; 01cv9563; 01cv9348; 01cv9604; 01cv5739; 01cv10999; 01cv3450; 01cv5241; 01cv9720; 01cv10040; 01cv6906; 01cv9514; 01cv10833; 01cv10092; 01cv10053; 01cv6768; 01cv10830; 01cv10638; 01cv4779; 01cv5074. (Signed by Judge Shira A. Scheindlin on 9/30/04)... Original Document filed in 21-mc-92, Doc#5367.(sac, )
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        Legal Document (Payment Possibly Required)  Filed: 4/21/2004, Entered: None Unknown Document Type
        MEMORANDUM OF LAW in Support re: MOTION, Doc#5191, (FILED ON SERVICE DATE) to Intervene. Original Document filed in 21mc92, Doc#5279. (sac, )
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          Legal Document (Payment Possibly Required)  Filed: 9/4/2003, Entered: None Unknown Document Type
          MEMORANDUM OF LAW in Support re: MOTION (FILED ON SERVICE DATE) to Intervene.. Document filed by Paul Cyrek. Original Document filed in 21 MC 92, Doc#5195.(sac, )
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            Legal Document (Payment Possibly Required)  Filed: 9/4/2003, Entered: None Unknown Document Type
            NOTICE OF OMNIBUS MOTION (FILED ON SERVICE DATE) to Intervene EACH CLASS MEMBER named on Exhibit 1 attached to Memorandum of Law in Support, as class plaintiffs in those coordinated actions. This Document Relates to: 01cv5902; 01cv2359; 01cv10901; 01cv3360; 01cv6890; 01cv5446; 01cv2858; 01cv10827; 01cv9883; 01cv6397; 01cv6613; 01cv6271; 01cv10839; 01cv5937; 01cv6222; 01cv7669; 01cv10971; 01cv5575; 01cv7044; 01cv10943; 01cv10686; 01cv10105; 01cv5834; 01cv6542; 01cv7000; 01cv10944; 01cv3792; 01cv4942; 01cv11231; 01cv6887; 01cv6242; 01cv7467; 01cv9411; 01cv9414; 01cv6775; 01cv5911; 01cv11246; 01cv7055; 01cv6948; 01cv10164; 01cv10813; 01cv7084; 01cv10738; 01cv10640; 01cv10884; 01cv10741; 01cv6339; 01cv6771; 01cv9743; 01cv62672; 01cv6842; 01cv6277; 01cv9922; 01cv10969; 01cv6084; 01cv3975; 01cv7654; 01cv9917; 01cv9349; 01cv 4974; 01cv9417; 01cv 10740; 01cv992; 01cv4147; 01cv6661; 01cv3483; 01cv6757; 01cv10990; 01cv6627; 01cv7726; 01cv9651; 01cv4183; 01cv3910; 01cv7028; 01cv5332; 01cv9798; 01cv11239; 01cv6089; 01cv6004; 01cv10823; 01cv10945; 01cv7280; 01cv10775; 01cv5354; 01cv7032; 01cv9744; 01cv9904; 01cv11217; 01cv10185; 01cv7279; 01cv2261; 01cv6082; 01cv10867; 01cv10160; 01cv10898; 01cv10683; 01cv2712; 01cv6090; 01cv10942; 01cv10120; 01cv11245; 01cv5225; 01cv6950; 01cv9746; 01cv7415; 01cv4941; 01cv10831; 01cv5600; 01cv10941; 01cv9921; 01cv4186; 01cv6846; 01cv6821; 01cv7474; 01cv5267; 01cv6288; 01cv7247; 01cv6110; 01cv10822; 01cv6008; 01cv5269; 01cv9563; 01cv9348; 01cv9604; 01cv5739; 01cv10999; 01cv3450; 01cv5241; 01cv9720; 01cv10040; 01cv6906; 01cv9514; 01cv10833; 01cv10092; 01cv10053; 01cv6768; 01cv10830; 01cv10638; 01cv4779; 01cv5074. Origianl Document filed in 21MC92, Doc#5191. Document filed by Paul Cyrek. (sac, )
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              Legal Document (Payment Possibly Required) 28 Filed: 8/13/2003, Entered: None Unknown Document Type
              ANSWER to Amended Class Action Complaint. Document filed by Credit Suisse First Boston Corporation. Related document: 21 Amended Complaint filed by James Tran.(sac, ) (Entered: 03/30/2004)
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                Legal Document (Payment Possibly Required) 27 Filed: 7/23/2003, Entered: None Unknown Document Type
                ANSWER by U.S. Bancorp Piper to [21-1] amended complaint . (Attorney Dean M. Jeske from the Firm: Foley & Lardner). (sac) (Entered: 09/19/2003)
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                  Legal Document (Payment Possibly Required) 26 Filed: 7/22/2003, Entered: None Unknown Document Type
                  ANSWER by Goldman Sachs & Co. to [21-1] amended complaint . (Attorney Penny Shane from the Sullivan & Cromwell, LLP). (sac) (Entered: 08/21/2003)
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                    Legal Document (Payment Possibly Required) 25 Filed: 7/21/2003, Entered: None Unknown Document Type
                    ANSWER by Robertson Stephens to [21-1] amended complaint. (Attorney Brendan Joseph Dowd from the O'Melveny & Myers, LLP)... rec'd in the night deposit box on 7/21/03 at 7:29 p.m. (sac) (Entered: 08/19/2003)
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                      Legal Document (Payment Possibly Required) 24 Filed: 7/21/2003, Entered: None Unknown Document Type
                      ANSWER by J.P. Morgan Sec. to [21-1] amended complaint. (Attorney Joseph M. McLaughlin from the Simpson, Thacher & Bartlett, LLP)... rec'd in the night deposit box on 7/21/03 at 6:42 p.m. (sac) (Entered: 08/14/2003)
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                        Legal Document (Payment Possibly Required) 23 Filed: 7/21/2003, Entered: None Unknown Document Type
                        ANSWER by Banc of America to [21-1] amended complaint. (Attorney Jonathan D. Polkes from the Firm: Cadwalader, Wickersham & Taft, LLP). (sac) (Entered: 07/25/2003)
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                          Legal Document (Payment Possibly Required) 22 Filed: 2/28/2003, Entered: None Unknown Document TypeCourt Filing
                          STIPULATION AND ORDER OF SUBSTITUTION OF ATTY AND NOTICE OF APPEARANCE; substituting Cadwalader, Wickersham & Taft (Jonathan D. Polkes appearing) in place of Brobeck, Phleger & Harrison LLP (Kenneth J. King appearing) as attys for deft Banc of America Securities LLC in this action. ( signed by Judge Shira A. Scheindlin ) (sac) (Entered: 03/31/2003)
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                            Legal Document (Payment Possibly Required)  Filed: 10/15/2002, Entered: None Unknown Document Type
                            (UNSIGNED) STIPULATION OF DISMISSAL; this action purs. to Stipulation and Order entered in 21 mc 92, doc. #5059, hereby dismisses without prejudice and without costs as to defts Alan Black, Andrew Laursen and Charles Parrish. (Orig. filed and signed by Judge Scheindlin in 21 mc 92.) (sac)
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                              Legal Document (Payment Possibly Required) 20 Filed: 4/24/2002, Entered: None Unknown Document Type
                              AFFIDAVIT OF SERVICE of S&C as to Charles Parrish by Emily Pickard, co-worker, on 4/4/02. (sac) (Entered: 07/17/2002)
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                                Legal Document (Payment Possibly Required) 19 Filed: 4/24/2002, Entered: None Unknown Document Type
                                AFFIDAVIT OF SERVICE of S&C as to Alain Rossman by Emily Pickard, co-worker, on 4/4/02 . . (sac) (Entered: 07/17/2002)
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                                  Legal Document (Payment Possibly Required) 18 Filed: 4/24/2002, Entered: None Unknown Document Type
                                  AFFIDAVIT OF SERVICE of S&C as to Andrew Laursen by Emily Packard, co-worker, on 4/4/02. (sac) (Entered: 07/17/2002)
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                                    Legal Document (Payment Possibly Required) 17 Filed: 4/24/2002, Entered: None Unknown Document Type
                                    AFFIDAVIT OF SERVICE of S&C as to Alan Black by Emily Pickard, co-worker, on 4/4/02. (sac) (Entered: 07/17/2002)
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                                      Legal Document (Payment Possibly Required) 16 Filed: 4/24/2002, Entered: None Unknown Document Type
                                      AFFIDAVIT OF SERVICE of S&C as to Malcolm Bird by Emily Pickard, co-worker, on 4/4/02. (sac) (Entered: 07/17/2002)
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                                        Legal Document (Payment Possibly Required) 15 Filed: 4/24/2002, Entered: None Unknown Document Type
                                        AFFIDAVIT OF SERVICE of S&C as to Openwave Systems by Emily Pickard, managing agent, on 4/4/02. (sac) (Entered: 07/16/2002)
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                                          Legal Document (Payment Possibly Required)  Filed: 4/19/2002, Entered: None Unknown Document Type
                                          MASTER ALLEGATIONS by James Tran RE: Amended Complaint, doc.# 21, Filed on April 19, 2002. (ac)
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                                            Legal Document (Payment Possibly Required) 21 Filed: 4/19/2002, Entered: None Unknown Document Type
                                            AMENDED COMPLAINT by James Tran amending [1-1] complaint ; Summons issued. (ac) (Entered: 07/23/2002)
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                                              Legal Document (Payment Possibly Required)  Filed: 4/19/2002, Entered: None Unknown Document Type
                                              OMNIBUS ORDER, granting [3-1] motion for an order, appointing Movant as Lead Pltff, granting [3-2] motion for an order, approving Movant's selection of the IPO Securities Litigation Pltffs' Executive Committee to serve as Lead Counsel. ( signed by Judge Shira A. Scheindlin ); Copies mailed. (orig. doc. filed in 21 mc 92, doc. #4319) (sac)
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                                                Legal Document (Payment Possibly Required) 14 Filed: 4/19/2002, Entered: None Unknown Document Type
                                                AFFIDAVIT OF SERVICE of S&C as to U.S. Bancorp Piper by Denise Hammond, managing agent, on 3/19/02. (sac) (Entered: 05/15/2002)
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                                                  Legal Document (Payment Possibly Required) 13 Filed: 4/19/2002, Entered: None Unknown Document Type
                                                  AFFIDAVIT OF SERVICE of S&C, Jury Trial Demanded as to Credit Suisse First by Mary O'Riordan, Asst. V.P., on 4/1/02. (sac) (Entered: 05/15/2002)
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                                                    Legal Document (Payment Possibly Required) 12 Filed: 4/2/2002, Entered: None Unknown Document Type
                                                    AFFIDAVIT OF SERVICE of S&C as to Goldman Sachs & Co. by Patricia A. McGraw on 3/13/02. (sac) (Entered: 04/09/2002)
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                                                      Legal Document (Payment Possibly Required) 11 Filed: 1/31/2002, Entered: None Unknown Document Type
                                                      WAIVER OF SERVICE of Summons & Complaint returned executed as to Hambrecht & Quist mailed on 1/3/02. Answer due on 3/4/02 for Hambrecht & Quist. (sac) (Entered: 02/28/2002)
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                                                        Legal Document (Payment Possibly Required) 10 Filed: 1/18/2002, Entered: None Unknown Document Type
                                                        RULE 1.9 CERTIFICATE filed by Openwave Systems, Alain Rossman, Alan Black, Charles Parrish, Andrew Laursen, Malcolm Bird. (sac) (Entered: 02/22/2002)
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                                                          Legal Document (Payment Possibly Required) 9 Filed: 1/14/2002, Entered: None Unknown Document Type
                                                          WAIVER OF SERVICE of Summons & Complaint returned executed as to Robertson Stephens mailed on 1/3/02. Answer due on 3/4/02 for Robertson Stephens. (sac) (Entered: 02/15/2002)
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                                                            Legal Document (Payment Possibly Required) 7 Filed: 1/9/2002, Entered: None Unknown Document Type
                                                            RULE 1.9 CERTIFICATE filed by Goldman Sachs & Co. . (moc) (Entered: 01/31/2002)
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                                                              Legal Document (Payment Possibly Required) 8 Filed: 1/7/2002, Entered: None Unknown Document Type
                                                              RULE 1.9 CERTIFICATE filed by Robertson Stephens. (sac) (Entered: 02/04/2002)
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                                                                Legal Document (Payment Possibly Required) 6 Filed: 1/4/2002, Entered: None Unknown Document Type
                                                                RULE 1.9 CERTIFICATE filed by Banc of America. (sac) (Entered: 01/24/2002)
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                                                                  Legal Document (Payment Possibly Required) 5 Filed: 1/4/2002, Entered: None Unknown Document Type
                                                                  DECLARATION of Joseph R. Seidman, Jr. by James Tran in support Re: [3-1] motion for an order, appointing Movant as Lead Pltff, [3-2] motion for an order, approving Movant's selection of the IPO Securities Litigation Pltffs' Executive Committee to serve as Lead Counsel. (sac) (Entered: 01/23/2002)
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                                                                    Legal Document (Payment Possibly Required) 4 Filed: 1/4/2002, Entered: None Unknown Document Type
                                                                    MEMORANDUM OF LAW by James Tran in support of [3-1] motion for an order, appointing Movant as Lead Pltff, [3-2] motion for an order, approving Movant's selection of the IPO Securities Litigation Pltffs' Executive Committee to serve as Lead Counsel. (sac) (Entered: 01/23/2002)
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                                                                      Legal Document (Payment Possibly Required) 3 Filed: 1/4/2002, Entered: None Unknown Document Type
                                                                      NOTICE OF MOTION by James Tran for an order, appointing Movant as Lead Pltff ; for an order, approving Movant's selection of the IPO Securities Litigation Pltffs' Executive Committee to serve as Lead Counsel ; Return date not indicated. (sac) (Entered: 01/23/2002)
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                                                                        Legal Document (Payment Possibly Required) 2 Filed: 1/4/2002, Entered: None Unknown Document Type
                                                                        RULE 1.9 CERTIFICATE filed by Hambrecht & Quist . (bai) (Entered: 01/07/2002)
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                                                                          Legal Document (Payment Possibly Required)  Filed: 11/5/2001, Entered: None Unknown Document Type
                                                                          Magistrate Judge Gabriel W. Gorenstein is so designated. (gmo)
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                                                                            Legal Document (Payment Possibly Required)  Filed: 11/5/2001, Entered: None Unknown Document Type
                                                                            Case accepted as related to 21 mc 92. (gmo) Modified on 12/13/2001
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                                                                              Legal Document (Payment Possibly Required) 1 Filed: 11/5/2001, Entered: None Unknown Document Type
                                                                              CLASS ACTION COMPLAINT filed. Summons issued and Notice pursuant to 28 U.S.C. 636(c). FILING FEE $ 150.00 RECEIPT # 420858. (gmo) (Entered: 11/09/2001)
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